STATE OF CALIFORNIA DEPARTMENT OF TRANSPORTATION MANUAL CHANGE TRANSMITTAL No. 19-4 TITLE: Department of Transportation Construction Manual APPROVED BY: Bob Finney, Acting Chief Division of Construction DATE ISSUED: 01-25-2019 SUBJECT AREA Sections 5-1 ISSUING UNIT Division of Construction SUPERSEDES July 2017 CM section DISTRIBUTION All Requested Manual Holders The purpose of this manual change transmittal is to announce updates and corrections to the Caltrans Construction Manual. The following section has been updated to reflect new policy and supersedes the corresponding section of the Construction Manual as previously published. Updated sections are available at http://www.dot.ca.gov/hq/construc/constmanual/ and are indicated by the date listed in the right-hand column on that page. Content changes are identified by change lines in the left margin. Section 5-1, “Project Records and Reports” Updates to lists of forms in Section 5-101B, “Construction Forms,” and 5-102C, “Description of Categories,” of project records to reflect changes to specifications on materials on hand, electrical systems, joint checks and construction grading: • Form CEM-2407, “Disadvantaged Business Enterprise (DBE) Joint Check Agreement Request,” documents an agreement between contractors and qualified subcontractors for payments for materials, to be filed on Category 24, “Disadvantaged Business Enterprises and Disabled Veteran Business Enterprises (DVBE),” of the project records. • Form CEM-3810, “Construction Grade Checking Report,” to grade verification and acceptance during construction. • Form CEM-5105, “Materials on Hand Summary,” to record and track material on hand payments according to guidance in Section 3-9, “Payment,” of the Construction Manual. • Form CEM-5803A, “Electrical System Inspection Checklist,” to document inspection of electrical systems and compliance with contracts. • Form CEM-5803B, “Detector Loop Inspection Checklist,” to document inspection of detector loops in electrical systems and compliance with contracts. • Form CEM-5819A, “Cable Verification Worksheet,” to document testing of fiber-optic cable, before installation, and compliance with contract requirements. • Form CEM-5819B, “Segment Verification Worksheet,” to document testing of fiber-optic cable, before splicing, and compliance with contract requirements. • Form CEM-5819C, “Link Loss Budget Worksheet,” to document testing of fiber-optic links before equipment is connected and compliance with contract requirements. Updates to lists of forms in Section 5-101C, “Materials Engineering and Testing Services Forms”: • Form TL-0624, “Inspection Release Tag,” to document METS inspection of materials. This and Form TL-0625 are to be filed in Category 41, “Report of Inspection of Material,” in the project records. • Form TL-0625, “Materials Suitability Tag,” to document that a quality assurance inspector has released materials to a job site. In Section 5-102C, “Description of Categories,” and in addition to categories already mentioned:
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MANUAL CHANGE TRANSMITTAL · • Form CEM-3810, “Construction Grade Checking Report,” to grade verification and acceptance during construction. • Form CEM-5105, “Materials
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STATE OF CALIFORNIA DEPARTMENT OF TRANSPORTATION
MANUAL CHANGE TRANSMITTAL
No. 19-4
TITLE: Department of Transportation Construction Manual
APPROVED BY:
Bob Finney, Acting Chief Division of Construction
DATE ISSUED:
01-25-2019
SUBJECT AREA Sections 5-1
ISSUING UNIT
Division of Construction
SUPERSEDES
July 2017 CM section
DISTRIBUTION All Requested Manual Holders
The purpose of this manual change transmittal is to announce updates and corrections to the Caltrans
Construction Manual. The following section has been updated to reflect new policy and supersedes the
corresponding section of the Construction Manual as previously published. Updated sections are available at
http://www.dot.ca.gov/hq/construc/constmanual/ and are indicated by the date listed in the right-hand
column on that page. Content changes are identified by change lines in the left margin.
Section 5-1, “Project Records and Reports”
Updates to lists of forms in Section 5-101B, “Construction Forms,” and 5-102C, “Description of Categories,” of
project records to reflect changes to specifications on materials on hand, electrical systems, joint checks and
construction grading:
• Form CEM-2407, “Disadvantaged Business Enterprise (DBE) Joint Check Agreement Request,” documents an
agreement between contractors and qualified subcontractors for payments for materials, to be filed on Category 24,
“Disadvantaged Business Enterprises and Disabled Veteran Business Enterprises (DVBE),” of the project records.
• Form CEM-3810, “Construction Grade Checking Report,” to grade verification and acceptance during construction.
• Form CEM-5105, “Materials on Hand Summary,” to record and track material on hand payments according to
guidance in Section 3-9, “Payment,” of the Construction Manual.
• Form CEM-5803A, “Electrical System Inspection Checklist,” to document inspection of electrical systems and
compliance with contracts.
• Form CEM-5803B, “Detector Loop Inspection Checklist,” to document inspection of detector loops in electrical
systems and compliance with contracts.
• Form CEM-5819A, “Cable Verification Worksheet,” to document testing of fiber-optic cable, before installation,
and compliance with contract requirements.
• Form CEM-5819B, “Segment Verification Worksheet,” to document testing of fiber-optic cable, before splicing,
and compliance with contract requirements.
• Form CEM-5819C, “Link Loss Budget Worksheet,” to document testing of fiber-optic links before equipment is
connected and compliance with contract requirements.
Updates to lists of forms in Section 5-101C, “Materials Engineering and Testing Services Forms”:
• Form TL-0624, “Inspection Release Tag,” to document METS inspection of materials. This and Form TL-0625 are
to be filed in Category 41, “Report of Inspection of Material,” in the project records.
• Form TL-0625, “Materials Suitability Tag,” to document that a quality assurance inspector has released materials to
a job site.
In Section 5-102C, “Description of Categories,” and in addition to categories already mentioned:
46.7 Hot Mix Asphalt Slurry Seals, Dikes 28,29,30,31,32
46.8 Concrete Paving 35,36,37
46.9 Curbs and Sidewalks, Slope Paving, 73,74,76,77
Curb Drains, Spec. Gutter Drains
46.10 Minor Str., Precast MH and DI, 42,69,70,46,75
Reinf. Steel, Misc. Iron and Steel
46.11 RCP, CMP, SSP Arch, Drainage Gates, 9,11,58
Under/Down Drain, Str Exc., Str. Backfill
46.12 Preparing Slopes, Straw 16,17,18,19,20
46.13 Permanent Signing 52,53,54,55
46.14 Hwy. Lighting and Sign Illumination 88
46.15 Finishing Roadway 21
46.16 Structure #1 89,90,91
46.17 Structure #2 89,90,91
2. Reports Covering Extra Work
Pending receipt of the contractor’s billing, file chronologically the original and one
copy of Form CEM-4601, “Assistant Resident Engineer’s Daily Report,” covering
extra work in a subcategory of this category. After receiving the change order bill
report and approving payment, record the change order bill number on both copies
of the daily report covering the extra work. Keep one copy of the daily report in this
chronological file and use it to detect future billings for the same work. File the
second copy with the daily extra work report in Category 49, “Change Orders.”
Change order bills for material should show the date the material was supplied or
placed and referenced to the invoice so that the particular material may be readily
California Department of Transportation Construction Manual January 2019
Project Records and Reports 5-1.37
identified. Keep a summary of invoices paid and use it as a check against duplicate
payment.
The specific system used for filing resident engineer’s and assistant resident engineer’s
daily reports is optional (except for extra work). However, Category 45 and 46 must be
used and the file index must clearly show the specific system being used.
Category 47 Drainage Systems
To maintain a record of contract items for drainage systems, use Form CEM-4701,
“Drainage System Summary.”
Use a Form CEM-4701 for each drainage system shown on the drainage quantity plan
sheet. The preliminary work required to set up each system summary includes entering
the contract number, the system number, planned station and description of the system,
and the preliminary or planned quantities, which are entered from the drainage quantity
plan sheet.
The assistant resident engineer describes progress on each drainage system in the daily
report and enters estimates of work completed on the “Progress Record” portion of the
drainage system summary.
Enter the quantity of work completed during an estimate period or near the end of the
estimate period for each item in the “Estimate of Work Completed” portion of the
drainage system summary. The quantities of work completed may then be entered on
Form CEM-6004, “Contract Transactions Input,” and paid on the next estimate. Use the
extra column next to the item quantity column to identify the Form CEM-6004 page and
line number where the quantity was entered. After all items for a particular drainage
system have been calculated and checked, the final quantities are entered in the row
labeled, “Actual Q.”
To keep track of and reduce the number of drainage system summaries that have to be
checked at the end of each estimate period, divide the category into the following
subcategories:
• 47.1 Before Work Starts
• 47.2 Staked and Being Worked On
• 47.3 Drainage System Complete, Final Quantities Not Complete
• 47.4 Final Quantities Completed
Example:
47.1 Before Work Starts
Place the preliminary drainage summaries in this subcategory in numerical order.
Each drainage system summary will remain in this subcategory until work starts on
that system.
47.2 Staked and Being Worked On
When a drainage system is staked, transfer the drainage summary sheet from index
47.1, “Before Work Starts,” to index 47.2, “Staked and Being Worked On.” Transfer
the individual quantity calculation sheets with the drainage summary.
47.3 Drainage System Complete, Final Quantities Not Complete
After all work is completed on a particular drainage system, transfer the summary
sheet with its calculation sheets to this subcategory. Removing the summary from the
California Department of Transportation Construction Manual January 2019 5-1.38 Project Records and Reports
preceding index (47.2, Staked and Being Worked On), precludes having to go through
completed structure summaries at the end of each estimate period when making
entries of work completed. Determination of pay quantities should be made as soon
as possible after work on the system is complete.
47.4 Final Quantities Completed
After all quantity calculations for a drainage system are completed and the adjusted
quantities entered into the project record, transfer the summary sheet and its
calculation sheets to this subcategory.
Since all drainage quantity calculation sheets will remain filed in Category 47, some
item-numbered folders in Category 48 may have no documents.
Category 48 Bid Item Quantity Documents
In this category, file source documents supporting contract item quantities. List the
subcategories in Category 48 by contract item number order. Identify individual
calculation sheets for the various contract items in the following manner. A quantity
sheet with the number 48.14.2 indicates that it is sheet number 2 covering contract item
number 14 and filed in Category 48, “Bid Item Quantity Documents.” Some drainage
item quantity documents may be filed in Category 47.
Category 49 Change Orders
In this category, file change orders and supporting documents in numerical order.
Subcategories of this category are change order numbers in numerical order.
Contained within each subcategory are:
• The Form CEM-4900, “Change Order,” Form CEM-4903, “Change Order
Memorandum,” and any accompanying correspondence.
• Form CEM-4901, “Change Order Input.”
• Daily change order bills and reports matched with assistant resident engineer’s daily
reports.
Two additional subcategories may be:
• The Labor Surcharge and Equipment Rental Rates (Cost of Equipment Ownership)
books applicable to the contract.
• Equipment rental rates and memos covering rates not shown in the Labor Surcharge
and Equipment Rental Rates book.
Category 50 Adjustment in Compensation Calculations
In this category, file project documents and calculations to support adjustments in
compensation.
After a change order is written, the supporting project documents may be transferred to
the change order file or remain in this category. Provide cross references between
categories 49 and 50 when the supporting documents and calculations remain in
Category 50.
List the subcategories under this category by contract item numbers.
California Department of Transportation Construction Manual January 2019
Project Records and Reports 5-1.39
Category 51 Materials on Hand
In this category, file Form CEM-5101, “Request For Payment for Materials on Hand,”
the related evidence of purchase, and any other project documents supporting material
on hand payments.
Category 52 Charges to Total Contract Allotment
In this category, file the documents related to and supporting charges to the contract
allotment for materials and services supplied by Caltrans.
Divide the category into the subcategories indicated below:
• Department-Furnished Material and Expenses
In this subcategory, file the contractor’s letters requesting delivery of Department-
furnished materials. Also, file the receiving records or other records of material
furnished by Caltrans. When Department-furnished material is received as
evidenced by shipping and receiving records, file the related records together.
• Service Contracts
In this subcategory, file supporting documents and records of project related
services. These are not the service contracts connected with the project office.
Category 53 Credit to Contract
In this category, include a subcategory to keep a record of any salvaged or surplus
material. Also set up a subcategory for copies of daily extra work reports that cover work
to maintain and repair damage to state property, except damage the contractor caused
(refer to Section 3-519, “Maintenance and Protection,” of this manual).
Credit received for salvaged or surplus material or repair of damage is not applied to the
contract allotment and the project is not given credit for any additional money to spend.
Category 54 Deductions From Payment to Contractor
In this category, file documents related to deductions from payments to contractors.
Possible subcategories include the following:
• Royalties on material
• Materials bought for the contractor by Caltrans
• Laboratory testing done for the contractor (refer to Section 6, “Control of Materials,”
of the Standard Specifications)
• Re-staking, engineering and inspection costs charged to the contractor
• Cost of damaged or missing state-owned signs
• Railroad flagging charges
• Noncompliance with the equal employment opportunity provisions of the contract
• Liquidated damages (refer to Section 3-906G, “Deductions,” of this manual)
• Any other deductions (refer to Section 3-9, “Payment,” of this manual)
Category 55 Partnering
This category is for filing all documents related to partnering meetings, workshops, and
evaluations. Subcategories may include:
• Form CEM-5501, “Partnering Facilitator Evaluation—KICKOFF”
California Department of Transportation Construction Manual January 2019 5-1.40 Project Records and Reports
• Form CEM-5502, “Partnering Facilitator Evaluation—Close-Out”
Category 56 Extra Category Number
Use this extra category number for project documents that do not fit in currently
established categories. When used, enter the name and number of the category on the
index sheet.
Category 57 Permanent Pedestrian Facilities
This category is for filing compliance inspection reports, preconstruction and post-
construction surveys, and Americans with Disabilities Act (ADA) project compliance
certification documents. Subcategories may include:
• Form CEM-5773ADE, “Curb Ramp (Case A, D, or E) Americans with Disabilities
Act (ADA) Compliance Inspection Report”
• Form CEM-5773B, “Curb Ramp (Case B) Americans with Disabilities Act (ADA)
Compliance Inspection Report”
• Form CEM-5773C, “Curb Ramp (Case C) Americans with Disabilities Act (ADA)
Compliance Inspection Report”
• Form CEM-5773CH, “Curb Ramp (Case CH) Americans with Disabilities Act
(ADA) Compliance Inspection Report”
• Form CEM-5773CM, “Curb Ramp (Case CM) Americans with Disabilities Act
(ADA) Compliance Inspection Report”
• Form CEM-5773DW, “Sidewalk at Driveway Americans with Disabilities Act
(ADA) Compliance Inspection Report”
• Form CEM-5773FG, “Curb Ramp (Case F or G) Americans with Disabilities Act
(ADA) Compliance Inspection Report”
• Form CEM-5773NSPL, “Curb Ramp (Non-Standard Plan - Parallel) Americans
with Disabilities Act (ADA) Compliance Inspection Report”
• Form CEM-5773NSPP, “Curb Ramp (Non-Standard Plan - Perpendicular)
Americans with Disabilities Act (ADA) Compliance Inspection Report”
• Form CEM-5773P, “Parking Americans with Disabilities Act (ADA) Compliance
Inspection Report”
• Form CEM-5773PW, “Passageway Americans with Disabilities Act (ADA)
Compliance Inspection Report”
• Form CEM-5773SW, “Sidewalk Americans with Disabilities Act (ADA)
Compliance Inspection Report”
• Pre- and post construction surveys
• Form CEM-5773, “Americans with Disabilities Act (ADA) Project Compliance
Certification”
Category 58 Extra Category Number
Use this extra category number for project documents that do not fit in currently
established categories. When used, enter the name and number of the category on the
index sheet.
California Department of Transportation Construction Manual January 2019
Project Records and Reports 5-1.41
Category 59 Bridge Estimate Data
In this category, file the bridge estimate data as covered in the Bridge Construction
Records and Procedures manual.
Category 60 Contract Administration System Inputs and Reports
This category contains documents resulting from CAS. Possible subcategories are:
• Form CEM-6003, “Progress Pay—Estimate Project Initiation or Update”
• Form CEM-6004, “Contract Transactions Input”
The following CAS reports are cumulative. Only the most current results need to be
retained.
• Status of Contract Items
• Project Record Item Sheets
• Status of Change Orders
• Change Order Master Listing
Category 61 Estimate and Project Status
In this category, file monthly Project Record-Estimate Request documents. The
suggested subcategories of this category are:
• Project Contingency Fund Status
• Estimate
The following documents may be filed by estimate number in numeric order:
• Form CEM-6101, “Project Record—Estimate Request”
• Estimate Verification Form
• Progress Payment Voucher
• Estimate Processing Results
• Project Record-Estimate and Project Status
Category 62 Disputes
In this category, file notes, photographs, information, and other project documents that
may be necessary to establish facts with respect to a dispute. Include any documents that
may be related to a dispute in this category or briefly describe and cross-reference them.
Number notices of potential claims in chronological order. These numbers may then be
used for subcategories.
The scope of this category may vary considerably, depending upon the nature and
circumstances of the dispute. The following types of documents indicate the type of
information that should be included:
• Form CEM-6201, “Notice of Potential Claim”
• Acknowledgment of the contractor’s dispute
• Disputes Review Board Agreement
• Contractor’s claim for a time extension (cross-reference to Category 27)
• Acknowledgment of the contractor’s claim for time extension
• Other correspondence relating to disputes
• Photographs pertaining to disputes
California Department of Transportation Construction Manual January 2019 5-1.42 Project Records and Reports
Category 63 Project Completion Documents
In this category, file documents related to the completion of the project. The following
are suggested subcategories:
• Form CEM-6301, “Contract Acceptance”
• Form CEM-6302, “Final Materials Certification”
• Punchlist
5-102D Category Numbers and Headings
Category
No.
Heading
1 Project Personnel
2 Project Office Equipment and Supplies
3 Equipment and Personnel Cost Reports
4 Service Contracts
5 General Correspondence
6 Safety
7 Public Relations
8 Construction Surveys
9 Welding
10 (Extra category number)
11 Information Furnished at Start of Project
12 Contractor
13 Signs and Striping
14 Photo Records
15 Accidents
16 Utility Agreements
17 Utility Work Performed
18 Agreements
19 Hazardous Waste and Hazardous Materials
20 Water Pollution Control Plan or Stormwater Pollution Prevention
Plan
21 Construction Zone Enhanced Enforcement Program
22 Traffic Management Information
23 Temporary Pedestrian Access Routes
24 Disadvantaged Business Enterprises and Disabled Veteran Business
Enterprises (DVBE)
25 Labor Compliance and Equal Employment Opportunity
26 Progress Schedule
27 Weekly Statement of Working Days
28 Weekly Newsletter
29 Materials Information and Preliminary Tests
California Department of Transportation Construction Manual January 2019
Project Records and Reports 5-1.43
Category
No.
Heading
30 Basement Soil Test Results
31 Notice of Materials to Be Used (CEM-3101)
32 Notice of Materials to be Inspected at Job Site (TL-0028)
33 Notice of Materials to be Furnished (TL-0608)
34 Treated Base
35 Hot Mix Asphalt
36 Concrete (other than structure items)
37 Initial Tests and Acceptance Tests
38 Quality Control
39 Materials Testing Qualifications of Employees
40 Field Laboratory Assistant Reports to Resident Engineer
41 Report of Inspection of Material
42 Material Plants
43 Concrete and Reinforcing Steel
44 Recycle Materials and Diversion of Solid Waste
45 Resident Engineer’s Daily Reports
46 Assistant Resident Engineer’s Daily Reports
47 Drainage Systems
48 Bid Item Quantity Documents
49 Change Orders
50 Adjustment in Compensation Calculations
51 Materials on Hand
52 Charges to Total Contract Allotment
53 Credit to Contract
54 Deductions from Payment to Contractor
55 Partnering
56
57
58
(Extra category numbers)
Permanent Pedestrian Facilities
(Extra category number)
59 Bridge Estimate Data
60 Contract Administration System Inputs and Reports
61 Estimate and Project Status
62 Disputes
63 Project Completion Documents
California Department of Transportation Construction Manual January 2019 5-1.44 Project Records and Reports
5-102E Alphabetical Listing of Categories
Heading Category No.
Accidents 15
Adjustment of Compensation Calculations 50
Agreements 18
Assistant Resident Engineer’s Daily Reports 46
Basement Soil Test Results 30
Bid Item Quantity Documents 48
Bridge Estimate Data 59
Change Orders 49
Charges to Total Contract Allotment 52
Concrete and Reinforcing Steel 43
Concrete (other than structure items) 36
Construction Surveys 8
Construction Zone Enhanced Enforcement Program 21
Contract Administration System Inputs and Reports 60
Contractor 12
Credit to Contract 53
Daily Reports, Assistant Resident Engineer’s 46
Daily Reports, Resident Engineer’s 45
Deductions from Payment to Contractor 54
Disadvantaged Business Enterprises and Disabled Veterans
Business Enterprises
24
Disputes 62
Drainage Systems 47
Estimate and Project Status 61
Equipment and Personnel Cost Reports 3
Extra Categories 10, 56, 58
Field Laboratory Assistant Reports to Resident Engineer 40
General Correspondence 5
Hazardous Waste and Hazardous Materials 19
Hot Mix Asphalt 35
Information Furnished at Start of Project 11
Initial Tests and Acceptance Tests 37
Labor Compliance and Equal Employment Opportunity 25
Materials on Hand 51
Material Plants 42
Materials Information and Preliminary Tests 29
Materials Testing Qualifications of Employees 39
Notice of Materials to be Furnished (Form TL-0608) 33
California Department of Transportation Construction Manual January 2019
Project Records and Reports 5-1.45
Heading Category No.
Notice of Materials to be Inspected at Job Site (Form TL-0028) 32
Notice of Materials to Be Used (Form CEM-3101) 31
Partnering
Permanent Pedestrian Facilities
55
57
Photo Records 14
Progress Schedule 26
Project Completion Documents 63
Project Office Equipment and Supplies 2
Project Personnel 1
Public Relations 7
Quality Control Quality Assurance 38
Recycle Materials and Diversion of Solid Waste 44
Report of Inspection of Material 41
Resident Engineer’s Daily Reports 45
Safety 6
Service Contracts 4
Signs and Striping
Temporary Pedestrian Access Routes
13
23
Traffic Management Information 22
Treated Base 34
Utility Agreements 16
Utility Work Performed 17
Water Pollution Control Plan or Stormwater Pollution
Prevention Plan
20
Weekly Newsletter 28
Weekly Statement of Working Days (Form CEM-2701) 27
Welding 9
5-103 The Contract Administration System
5-103A General
This section describes the Contract Administration System (CAS), sometimes referred
to as “the progress pay system.” The primary purpose of this computer system is to help
administer Caltrans construction projects. Various functional units within the Division
of Construction update and maintain records on individual contracts in CAS from the
award and approval of the contract through to the completion and final payment.
CAS is one of three subsystems of the Project Information System and Analysis (PISA).
The three PISA subsystems that make up the primary computer system that Caltrans uses
for tracking contract capital costs are: planning and design, bidding and award, and
project construction. Each module of PISA passes data to the next module as a project
progresses from conception to completion. Refer to Figure 5-1.1, “Contract
Administration System, Systems Interface,” for a general overview of how CAS relates
5-103
The Contract
Administration
System
California Department of Transportation Construction Manual January 2019 5-1.46 Project Records and Reports
to the other components of the Caltrans computer system used for tracking and paying
contract capital costs.
CAS is also composed of separate modules, each of which accomplishes a distinct
function. The following are the most common of CAS’ many modules:
• Project initiation and update
• Contract transactions
• Change order
• Daily extra work report
• Project record estimate
• Reports
• Online update and inquiry
Resident engineers use these modules to do the following:
• Account for quantities from source documents
• Account for change orders and payments for extra work
• Determine the status of the projects’ financing
• Authorize payments to contractors
California Department of Transportation Construction Manual January 2019
Project Records and Reports 5-1.47
Figure 5-1.1. Contract Administration System, Systems Interface
BID OPENING SYSTEM (BID)
The BID passes contract item information and the winning bidder’s name and address
when the project is initiated into CAS.
PROJECT MANAGEMENT CONTROL SYSTEM (PMCS)
The PMCS passes contract location, federal-aid number, project type, and
project descriptions to the CAS. Project cost information is passed to the PMCS
system from the Contract Summary Record.
CONTRACT ADMINISTRATION
SYSTEM (CAS)
CONSTRUCTION UNIT COST SYSTEM (CUC)
The CUC gathers item prices from BID, Basic Engineering Estimating System (BEES), and change order entries.
BRIDGE DATA MANAGEMENT (BDM)
Report of any structure work done on highway contracts.
AMS Advantage
Issues payment transaction information to State Controller
STATE CONTROLLER AMS Advantage passes an electronic file to the State
Controller containing contractor payment
information. State Controller creates pay vouchers and
distributes the warrants and payment vouchers to the
contractors.
ORACLE DATABASE: EXTRA WORK BILLING SYSTEM (iEWB) Process contractors’ extra work bills. CONSTRUCTION CONTRACT INFORMATION SYSTEM (CCIS) – Tracks Milestones such as District Expenditure Done (DED) and others.
California Department of Transportation Construction Manual January 2019 5-1.48 Project Records and Reports
5-103B Project Initiation and Update
5-103B (1) Major and Minor A Contracts
When Caltrans has determined the lowest responsible bidder, the Office Engineer will
transfer project data from the bid opening system to CAS. Usually, this data transfer will
occur before awarding the contract and before determining the total allotment. When this
information about the award and total allotment becomes available, the Division of
Construction will update the computer file by adding to or changing existing
information. Items of work are tracked as either federally participating or
nonparticipating.
Immediately after the new contract information in the computer file has been transferred
from the bid opening system, the data is available to the district for processing. The
district must update the file with district information such as the resident engineer’s name
and address, the bridge representative’s name, and the project’s password. To perform
the update, the district uses Form CEM-6003, “Progress Pay—Estimate Project
Initiation or Update,” which is explained in more detail in Section 5-103B (3),
“Completing Form CEM-6003, ‘Progress Pay—Estimate Project Initiation or Update.’
” of this manual.
After receipt of the contract award summary, progress pay may be initiated. Division
of Construction progress pay desk verifies the contractor voucher name and address
and enters project fund information into CAS from the contract award summary. The
district estimate desk verifies the bid open date. Using the CAS data-entry screen,
the district estimate desk enters the award, approval, completion, and acceptance
dates; the number of working days; the plant establishment period; and time-related
overhead information into CAS from the contract award summary, approval memo,
and the fForm CEM-6301, “Contract Acceptance.”
The result of the district’s file update will be a dummy Form CEM-6101, “Project
Record—Estimate Request,” and a contract contents report, which lists contract items.
The form and report should be checked thoroughly and any discrepancies brought
immediately to the attention of the Division of Construction progress pay coordinator.
During a contract’s life, the contractor may request a local address change or a legal
name style address change. The district must maintain the accuracy of local address
information in CAS using Form CEM-6003, “Progress Pay—Estimate Project Initiation
or Update.” The State Controller mails progress payment checks. Only the headquarters
Division of Construction progress pay coordinator is authorized to make changes to the
address from Form CEM-1202B, “Contractor Action Request—Assignment of Contract
Monies, Assignee Change of Name/Address” verified by the resident engineer with the
Division of Construction field coordinator’s concurrence.
5-103B (2) Emergency Contracts in Excess of Minor B Limits
Payment for all emergency contracts estimated at greater than the Minor B contract limit
in construction cost are to be paid through CAS. The Minor B limit is evaluated and re-
established every 2 years and DPAC announces the new policy by issuing a DPAC
Information Bulletin:
http://dpac.onramp.dot.ca.gov/bulletins-and-memos
The district performs the initial setup of emergency contracts in CAS using the
Emergency Force Account (EFA) Contract Initiation Instructions in CAS (Contract
California Department of Transportation Construction Manual January 2019
Project Records and Reports 5-1.49
Administration System). The headquarters estimate desk performs the final setup steps.
Entering the emergency contract in CAS is typically performed after the “Confirmation
of Verbal Agreement” has been issued, but prior to the contract being authorized. This
allows the contractor and the engineer to begin processing change order billings using
the iEWB system. Progress estimates are not to be requested until confirming the
contract has been authorized and the AMS Advantage contract document has reached
the final stage.
To establish a contract in CAS, a minimum of one contract item must be used. This is
typically covered by establishing the one item for the amount of the contract payment
bond. In order to process change order billings, CAS requires at least one change order
be issued. The change order is administrative only, and issued for the total of the
construction authorization, less the value of the bid item(s), less $15,000 (example;
change order amount=total allotment-item(s)-$15,000). Establishing the change order
for this amount provides protections to ensure change order billings are not authorized
for more than the available funds.
5-103B (3) Completing Form CEM-6003, “Progress Pay—Estimate Project
Initiation or Update”
The purpose of Form CEM-6003 is to add new information, or to change information,
in the computer file. The computer program will accept such changes only for contracts
in your own district.
Except for the “Project Key,” complete only the data fields that you wish to update. The
computer program will ignore blank fields and will place the data from the completed
fields in the file whether or not such information is already on file. Fields left blank on
the input form do not change what is in the file.
Ensure the data you enter on the form conforms to these rules, listed by data field as
follows:
5-103B (3a) Project Key
Enter the letter “U” under “FB,” and in the remaining spaces, enter the district and
contract number.
5-103B (3b) Card Type C05 (each field is independent and can be updated
separately)
For the following data fields under card type C05, do the following:
• Resident engineer’s phone number.
• Responsible unit: Though the current financial system (E-FIS) now uses a 4-digit
source unit value, enter the prior financial system (TRAMS) 3-digit source unit
value. The responsible unit may range from 501 to 545. Warning: Until this number
is in the computer file, progress pay estimates cannot be processed.
• Date work started: Enter the date the contractor began work on the job site. If work
has not begun, leave this field blank and submit an update when work begins.
• Estimated date for completion: Enter your best estimate, not the calculated
completion date. When progress estimate requests are submitted, this date is
updated.
• Password: Use of this feature is optional. Enter any combination of six characters.
The characters may be alphabetic, numeric, or one of the following special
characters: *, /, =, (,), +, -, @, #, %, &. Once established, this password is required
California Department of Transportation Construction Manual January 2019 5-1.50 Project Records and Reports
when you file, among other things, contract item payments, using Form CEM-6004,
“Contract Transactions Input.” The password will restrict access to the computer
files.
• Suspension or reactivation: If a contract is suspended, enter the date of suspension
and “S” in the “SR” column. When the suspended contract is reactivated, enter the
date of reactivation and “R” in the “SR” column. You only have 30 calendar days
from the suspension or reactivation date to enter this information into the computer.
• Plant establishment: If the project requires retentions be held at 5 percent for the
contract’s life, enter an “X” in the “PE” column. Current legislation prohibits
retentions on all state and federally funded contracts through January 1, 2020.
• First Chargeable Working Day: Enter the date that contract time begins, usually 15
calendar days after the approval date. This is the date used to calculate the number
of working days that determine satisfactory progress and the percent of time elapsed.
5-103B (3c) Card Type C06 to C08
Resident engineer’s mailing address: On the first line, enter the resident engineer’s last
name first, followed by a comma. Then enter a space and the first name, followed by a
space and middle initial (SMITH, John C.). On the second and third lines, enter the
mailing address of the construction field office. Warning: The computer program treats
all three lines as a single “data field.” If you need to change this field, you must reenter
all three lines.
5-103B (3d) Card Type C09 to C14
Only the headquarters Division of Construction progress pay coordinator can change the
address in CAS.
To change the contractor’s local address, enter the contractor’s name on line C09, and as
necessary, continue the name on lines C10 through C12. Leave unused lines blank.
Enter the contractor’s local address on lines C13 and C14. Also enter the contractor’s
local phone number on line C14.
Warning: You must enter the entire name and address each time you wish to update any
or all of these lines. You cannot update a single line.
5-103B (3e) Card Type C15
For the following data fields under card type C15, do the following:
• Structure representative’s name: If the contract requires structure work, enter the
structure representative’s name even if it is the same name as the resident engineer’s.
Enter only the last name and first initial (SMITH, J.)
• Structure responsible unit: Though the current financial system (E-FIS) now uses a
4-digit source unit value, enter the prior financial system (TRAMS) 3-digit source
unit value. The unit may range from 550 to 599.
• Original authorized amount for structure work: At the contract’s start, the resident
engineer and the structure representative must determine the initial value of the
required structure work. This value should include any portion of the contract item
for mobilization that will be claimed as structure work. Warning: If this amount is
not on file, Structure Construction cannot obtain any reports for this contract.
• Structure mobilization percentage: Enter, to the nearest whole percent, the portion
of the contract item for mobilization that will be claimed as structure work.
California Department of Transportation Construction Manual January 2019
Project Records and Reports 5-1.51
• Structure completion: Enter a “C” to indicate the completion of structure work.
5-103B (4) Processing
CAS analyzes the changes made to the computer file and does the following:
• CAS notes whether the district is updating the “Responsible Unit” field for the first
time. If so, CAS prints a dummy Project Record—Estimate form and a Contract
Contents Report.
• If this update is not the first update, CAS prints only the first page of the Contract
Contents Report. CAS prints the dummy Project Record—Estimate form only if the
contractor’s name and address field has been changed.
• CAS also prints a listing of update requests, which is a summary report of all fields
that have been updated in this run.
5-103C Contract Transactions
The majority of all data submitted to CAS will be contract transactions from the resident
engineer on Form CEM-6004, “Contract Transactions Input.” Contract transactions are
divided into the following three categories:
• Contract item transactions: These consist of five types of transactions that refer to
contract items.
• Miscellaneous transactions: These consist of four types of transactions to handle
general project needs.
• Change order transactions: These consist of three types of transactions that refer to
change orders.
The Contract Transaction Processing Module processes this total of 12 transaction types.
Together with the services that the change order and Daily Extra Work Report
Processing Modules perform, these modules are sufficient to generate contract records
that provide control of progress payments and track the financial status of the contract.
5-103C (1) Transaction Types
The following describes, by category, the 12 possible transaction types:
5-103C (1a) Contract Item Transactions
CAS provides five different ways to refer to a contract item in Form CEM-6004,
“Contract Transactions Input.” Another way is by including the item as part of a change
order. This will cause the authorized quantity to be adjusted automatically. Thus, you do
not have to account for status changes due to change orders. You can reference contract
items through the following contract item transactions:
• Contract item payment: Make item payments by posting line entries to Form CEM-
6004 in any order. Indicate bridge items by entering “B” in the proper column. If
you use the report titled Bridge Quantities by Structure, you will also need to enter
the structure number in accordance with instructions in Section 6, “Estimates,” of
the Bridge Construction Records and Procedures manual, Vol. 1. Refer to Example
5-1.2, “Contract Transaction Input,” Line 01, of this manual.
• Contract item quantity balance: You may adjust the authorized quantity, if
necessary, by submitting quantity balances as line entries on Form CEM-6004,
“Contract Transactions Input.” You might need to make this type of transaction for
various reasons. For example, a need might exist because of an incorrect engineer’s
estimate for a contract item that would have a major effect on the contingency
California Department of Transportation Construction Manual January 2019 5-1.52 Project Records and Reports
balance. This transaction type adjusts the authorized final cost for your project, as
shown in the later discussion of progress pay estimates. Refer to Example 5-1.2,
Line 02 of this manual.
• Contract item anticipated change: This transaction gives the engineer a method to
allocate project funds to a specific contract item based on knowledge of anticipated
additional or decreased work. Such transactions affect the estimated final quantity
for the item and the estimated final cost for the project. The effect of these
transactions is cumulative. If additional work is authorized by change order, a
reversing entry is necessary. Refer to Example 5-1.2, Line 03 of this manual.
• Contract item final balance: When work is completed on a contract item, you should
enter this fact into the system. This entry will mark the item in the computer file as
“Complete.” On all subsequent progress pay estimates, the authorized quantity and
the estimated final quantity will default to the amount paid to date, thus
automatically balancing out the item. Additional item payments may be made, and
the system will continue to balance the contract items. Refer to Example 5-1.2, Lines
04 and 05 of this manual.
• Contract item final balance (“Reopen”): This transaction allows you to reverse the
status of the contract item from “Complete” to “Active.” For example, you would
use “Reopen” to change an incorrect entry that showed the item was complete. Refer
to Example 5-1.2, Line 06 of this manual.
5-103C (1b) Miscellaneous Transactions
The four transaction types listed below comprise “miscellaneous transactions,” the
second category of contract transactions:
• Anticipated change: Use this transaction to record anticipated additional or
decreased work when it is not possible or desirable to tie the anticipated change to a
specific contract item or change order. These transactions are not cumulative and
will affect the project’s estimated final cost only on the next progress pay estimate
to be generated. Refer to Example 5-1.2, Line 07 of this manual.
These transactions are placed in the computer file, and their sum will appear on the
next progress pay estimate that generates payment. If the next estimate is a
supplemental progress pay estimate, only enter material on hand payment requests
if the material on hand payment request was mistakenly omitted from the previously
run progress pay estimate.
• For more information about materials on hand, refer to Section 3-9, “Payment,” and
Example 5-1.2, Line 08 of this manual.
• Department-furnished materials allotment transfer: Use this transaction to increase
or decrease the value of the Department-furnished materials allotment for your
contract. The construction allotment will automatically adjust. To increase the
Department-furnished materials allotment, enter a positive number. (This type of
entry will decrease the contingency balance.) Refer to Example 5-1.2, Line 09 of
this manual.
• Total allotment changes: Use this transaction to enter into the system any
supplemental allotment that increases (or decreases) your contract’s total allotment.
The total allotment in the computer file will adjust automatically as will the
construction allotment. The construction allotment is defined as the total allotment
less the Department-furnished materials allotment. Refer to Example 5-1.2, Line 10
of this manual.
California Department of Transportation Construction Manual January 2019
Project Records and Reports 5-1.53
5-103C (1c) Change Order Transactions
The three transaction types listed below comprise “change order transactions,” the final
category of contract transactions:
• Change order anticipated change: This transaction has the same effect as does the
contract item anticipated change except that a change order is being changed. Refer
to Example 5-1.2, Line 11 of this manual.
• Change order final balance: This transaction has the same effect as does a contract
item balance. When work on a change order is finished, mark it “Complete” by
entering this transaction. As with contract items, additional change order bills may
be paid, and the system will continue to balance the change order. Refer to Example
5-1.2, Line 12 of this manual.
• Change order final balance (“Reopen”): This transaction allows you to reverse the
status of the change order from “Complete” to “Active.” Refer to Example 5-1.2,
Line 13 of this manual.
5-103C (2) Completing Form CEM-6004, “Contract Transactions Input”
The resident engineer will use Form CEM-6004 more often than any other form in CAS.
This section contains a completed sample of the form. Refer to Example 5-1.2, “Contract
Transaction Input.”
We cannot overemphasize the importance of legible entries. Also, because of the high
volume of transactions, make your entries on Form CEM-6004 as soon as the
information becomes available. Partially filled pages are acceptable.
The sample form in this section shows some transactions. Note that leading zeros are not
required in the numeric fields and that the plus sign is not required in the +/columns. The
following instructions are for the fields common to all transactions:
• Enter the district, contract number, password (if used), and page number. When
assigning a page number, be careful because duplicate numbers will cause all
transactions on the page to be rejected. You must complete these fields.
• Enter the posting date.
• Enter the source document description. If the transaction type refers to a project
source document, (for example, a calculation sheet or a scale sheet), enter into the
form’s description column an adequate description of the source document. The
source document must cross reference to Form CEM-6004. Post the page number,
line number, and posting date from Form CEM-6004 to the source document. Refer
to Example 5-1.1, “Quantity Calculation,” for a typical source document.
• Note: The last six characters of the source document description can be the structure
number if this item concerns structure work. Refer to Example 5-1.2, Line 01 of this
manual.
• Mark the structure field with the character “B” if this transaction concerns “structure
work.” Otherwise, leave the space blank. If you use the report titled Bridge
Quantities by Structure you will also need to enter the structure number in
accordance with the instructions in Section 6, “Estimates,” of the Bridge
Construction Records and Procedures manual, Vol. 1.
The form’s remaining fields are divided into two sections, “Contract Item Entries,” and
“All Other Entries.” If you make any entry in one or more fields of one of the sections,
California Department of Transportation Construction Manual January 2019 5-1.54 Project Records and Reports
all fields in the other section must be left blank. A single line entry cannot serve double
duty.
5-103C (2a) Contract Item Entries
Each type of contract item transaction has its own format on Form CEM-6004. The
following are the rules for making contract item entries:
• Quantity balance transactions:
1. Lump sum items cannot be quantity balanced. If you attempt to quantity balance
them, the transaction will be rejected.
2. If the quantity balance is greater than the bid quantity, a warning message is
issued.
3. If the value of the quantity balance exceeds $100,000, a warning message is
issued.
4. The new authorized quantity is calculated. If it is negative, the transaction will
be rejected.
5. If the new authorized quantity is less than the total payment for the next
estimate, a warning message is issued. Take appropriate action on this warning,
such as estimating the final quantity and inputting the increase, covering the
increase by change order, or requesting the computer to final balance the item.
Such action is necessary to keep the project’s status of funds current.
• For item final balance and item final balance (“Reopen”), the item status is set to
“Complete,” or “Active,” respectively. The system does not check to see if the item
is a lump sum item or a final pay item.
• Item anticipated quantity change:
1. If the anticipated quantity change is greater than the bid quantity, a warning
message is issued.
2. If the value of the anticipated quantity change exceeds $100,000, a warning
message is issued.
3. A new estimated final quantity is calculated. If this estimated final quantity is
negative, a warning message is issued.
4. If the new estimated final quantity is less than the total payment for the next
estimate, a warning message is issued.
• Item payment:
1. Any transactions for the item “Mobilization” are rejected.
2. Any transactions for a void item will be rejected.
3. If the payment quantity is greater than the bid quantity, a warning message is
issued.
4. If the value of the payment quantity exceeds $100,000, a warning message is
issued.
5. The new total payment for the next estimate is calculated. If the total is negative,
the transaction is rejected. (Negative transactions under “This Estimate” will be
accepted.)
California Department of Transportation Construction Manual January 2019
Project Records and Reports 5-1.55
6. If the contract item is a lump sum item and the total payment for the next
estimate would exceed 100 percent, the transaction is rejected.
7. If the contract item is not a lump sum item, the new total payment for the next
estimate is compared to 125 percent of the bid quantity and the authorized
quantity. Warning messages are issued if the total payment is more than one or
both of these.
If the system issues any warning or rejection messages while it processes transactions
for a contract item, the complete status of the item will be printed on the Contract
Transactions Input Edit report before the system begins processing the next contract
item. Use this printout to determine the reason the system issued the message.
• Percentages for lump sum quantity payments must be expressed as decimals. Only
three decimal places are available. If 5 percent is to be paid, it must be entered as
0.050; (5.00 is 500 percent).
5-103C (2b) Miscellaneous Transactions
The following are the rules for making miscellaneous transactions:
• Anticipated changes:
1. If the amount anticipated exceeds $100,000, a warning message is issued.
2. If the amount anticipated exceeds 10 percent of the construction allotment, a
warning message is issued.
• Material on hand payments:
1. If the amount exceeds $100,000, a warning message is issued.
2. If the amount is negative, a warning message is issued. (The system assumes
that this is a correcting entry to a previous transaction accepted by the system
and not yet processed for payment.)
3. A total is calculated for payment for the next estimate. This is the sum of all
transactions since the last estimate. If the total is negative, a warning message is
For each contract item, this report includes a detailed analysis of the current and prior
quantities and payment status. It also summarizes all other payments or deductions as
well as data on contract time. The information in this report is included already in other
reports that are produced automatically. Therefore, you do not need it for routine contract
administration.
5-103H (16) DEWRs in Holding File
This report lists change order bills that are in the holding file for all contracts in the
district. If there are reports in the holding file, process supplemental change orders to
provide additional funds. The bill must be re-approved in the iEWB system in order to
be released for payment on the next estimate.
5-103H (17) Daily Extra Work Report
Copies of daily extra work reports are produced under the procedure outlined in Section
5-103E, “Change Order Billing,” of this manual. You can obtain copies by using the
second page of the report request form or receive reports directly from the iEWB system.
Refer to the iEWB User Guide for details.
5-103H (18) Rental Rates and Codes for Miscellaneous Equipment
This report provides a listing of equipment codes and related descriptive information for
equipment that is not included in the Labor Surcharge and Equipment Rental Rates
(Cost of Equipment Ownership) book.
5-103H (19) Reports for Structure Construction
In addition to the reports discussed above, CAS provides reports for Structure
Construction. For details, refer to Section 6, “Estimates,” of the Bridge Construction
Records and Procedures manual, Vol. 1.
California Department of Transportation Construction Manual January 2019
Project Records and Reports 5-1.79
5-103I Field Audits by Accounting Office
In accordance with instructions from the Division of Administrative Services, personnel
from the Accounting Office will periodically review record-keeping procedures for
construction projects. The accounting reviewer will prepare a report of the findings, a
copy of which will be sent to the deputy district director of construction and the resident
engineer.
District construction must then report back to the Accounting Office, stating what actions
it took in response to the report’s recommendations. If the district’s actions result in a
dispute, the deputy district director of construction will resolve the dispute.
5-104 Final Construction Project Records
5-104A General
Construction project records consist of all material in the construction files, whether in
the field office or the district construction office. This section contains guidelines for the
disposition of construction project records after Caltrans makes the final payment to the
contractor. This section also provides guidelines for allowing public access to
construction project records and for producing a set of as-built plans for each completed
construction project. In addition to construction project records, the district keeps a
project history file. When the construction project is completed, the resident engineer
initiates assembly of the project history file by transmitting designated records to the
district Construction Unit for compilation. The project history file is stored in a secure,
central file location within the district. For information about the project history file, refer
to Chapter 7, “Uniform File System,” of the Project Development Procedures Manual.
The construction records retention schedule, Form STD 73, “Records Retention
Schedule,” lists records that are retained by the districts and Construction headquarters.
For specific records stored in the project history file, refer to Section 5-104C,
“Disposition of Construction Project Records,” of this manual.
5-104B Public Access to Project Records
The California Public Records Act permits anyone to obtain any written information
relating to the conduct of the public’s business that is prepared, owned, used, or retained
by any state agency, regardless of the physical form or characteristic of the writing.
Although the act includes exemptions for certain categories of records, most construction
project records fall within the description of documents that must be produced upon
proper demand. Except for preliminary drafts or notes that are not retained in the ordinary
course of business, permanent project records that are reasonably identified are subject
to inspection and copy.
Records exempt from disclosure include the following:
• Estimated project cost before bidding.
• Contract claim analysis.
• Personal information, such as home addresses, telephone numbers, medical records,
and similar files, the disclosure of which would constitute an unwarranted invasion
of personal privacy.
• Accident reports. If accident reports produced by another agency are requested, such
as accident reports by the California Highway Patrol, refer the requester to the other
agency.
5-104
Final Construction
Project Records
California Department of Transportation Construction Manual January 2019 5-1.80 Project Records and Reports
If copies of payroll records are requested, refer to Section 7-1.02K(3), “Certified Payroll
Records (California Labor Code, §1776),” of the Standard Specifications for the
procedures to follow.
Resident engineers should refer all requests for copies of any records to the district
construction office and follow procedures established in the district for copying and
charging for record copies.
Allow contractors and subcontractors to review records used to determine contract
payment in the construction field office.
5-104C Disposition of Construction Project Records
District construction personnel who are responsible for the disposition of construction
project records must coordinate their activities with the district records officer.
District construction offices must follow the statewide procedure for handling project
records. This procedure is in accordance with the statewide records retention schedule
and achieves the following objectives:
• Relieve the resident engineer of the responsibility for storing the records before or
at the time final payment is made.
• Avoid unnecessary long-term storage of duplicate copies.
• Before the records are destroyed, transfer material that has historical value to the
project history file.
• Retain construction project records in accordance with Table 5-1.1 of this manual
and as follows:
1. For projects that involve federal participation, retain the records for a minimum
of 3 years after submission of the final federal voucher.
2. For projects that do not involve federal participation, retain the records for a
minimum of 3 years after the date on which the final estimate is scheduled for
payment.
3. For projects on which some legal question exists, such as a pending claim, a
labor compliance case, or litigation, retain the records for 3 years after
settlement. The district construction office must send a memorandum to the
district records officer to hold these records until further notice.
After records from the resident engineer’s office are sent to the district construction
office, eliminate duplicate records.
The construction project records retention schedule lists the length of time certain files
must be retained, as well as files that must be kept permanently in the project history files
in accordance with federal requirements.
California Department of Transportation Construction Manual January 2019
Project Records and Reports 5-1.81
Table 5-1.1. Construction Records Retention Schedule
Project Record Category
Project Records Retention Funding Type
Fed & State
Fed State Fed & State
FE (See
Note 1)
FFV+3 (See Notes
3 & 4)
FE+3 (See
Note 2)
PHF (See
Note 5)
1. Project Personnel X
2. Project Office Equipment and Supplies X
3. Equipment and Personnel Cost Reports X
4. Service Contracts X
5. General Correspondence X X
6. Safety X X
7. Public Relations X
8. Construction Surveys X X
9. Welding X X
10. (Extra category number)
11. Information Furnished at Start of Project (except documents noted below)
X X
a. Detail Estimate of Project Cost X
b. Notice of Award of Contract X
c. Contract Special Provisions & Addendums X
d. Notice of Approval of the Contract X
e. Executed Contract X
f. Bid Book X
12. Contractor (except documents noted below) X X
a. Contractor's Borrow Agreements X
13. Signs and Striping X X
14. Photo Records X
15. Accidents X X
16. Utility Agreements X
17. Utility Work Performed X X
18. Agreements (except documents noted below) X X
a. Right of Way Agreements (with/without obligation) X
b. Forest Service Agreements X
c. Borrow Agreements (between state/owner) X
d. Disposal Agreements (between state/owner) X
e. Service Agreements (charged to contract allotment) X
19. Hazardous Waste and Hazardous Materials X
California Department of Transportation Construction Manual January 2019 5-1.82 Project Records and Reports
Table 5-1.1. Construction Records Retention Schedule (continued)
Project Record Category
Project Records Retention Funding Type
Fed & State
Fed State Fed & State
FE (See
Note 1)
FFV+3 (See Notes
3 & 4)
FE+3 (See
Note 2)
PHF (See Note
5)
20. Water Pollution Control Plan or Stormwater Pollution Prevention Plan
X X
21. Construction or Maintenance Zone Enhanced Enforcement Program X X
22. Traffic Management Information X X
23. Temporary Pedestrian Access Routes X
24. Disadvantaged Business Enterprises and Disabled Veteran Business Enterprises
X X
25. Labor Compliance and Equal Employment Opportunity X X
26. Progress Schedule X X
27. Weekly Statement of Working Days X X
28. Weekly Newsletter X
29. Materials Information and Preliminary Tests X X
30. Basement Soil Test Results X X
31. Notice of Materials to Be Used X X
32. Notice of Materials to Be Inspected at the Job Site X X
33. Notice of Materials to Be Furnished X X
34. Treated Base X X
35. Hot Mix Asphalt X X
36. Concrete (other than structure items) X X
37. Initial Tests and Acceptance Tests X X
38. Quality Control X X
39. Materials Testing Qualifications of Employees X X
40. Field Laboratory Assistant Reports to Resident Engineer X X
41. Report of Inspection of Material X X
42. Material Plants X X
43. Concrete and Reinforcing Steel X X
44. Recycle Materials and Diversion of Solid Waste X X
45. Resident Engineer’s Daily Reports X X
46. Assistant Resident Engineer’s Daily Reports X X
47. Drainage Systems X X
48. Bid Item Quantity Documents X X
California Department of Transportation Construction Manual January 2019
Project Records and Reports 5-1.83
Table 5-1.1. Construction Records Retention Schedule (continued)
Project Record Category
Project Records Retention Funding Type
Fed & State
Fed State Fed & State
FE (See Note
1)
FFV+3 (See Notes
3 & 4)
FE+3 (See
Note 2)
PHF (See
Note 5)
49. Change Orders (except documents noted below) X X
a. Change Orders (no drafts) X
b. Memorandums (no drafts) X
50. Adjustment in Compensation Calculations X X
51. Materials on Hand X X
52. Charges to Total Contract Allotment X X
53. Credit to Contract X X
54. Deductions from Payment to Contractor X X
55. Partnering X X
56. (Extra category number)
57. Permanent Pedestrian Facilities X X
58. (Extra category number)
59. Bridge Estimate Data X X
60. Contract Administration System Inputs and Reports X X
61. Estimate and Project Status (except documents noted below) X X
a. Final Estimate X
b. Invoice & Receiving Records (if applicable) X
62. Disputes X X
63. Project Completion Documents (except documents noted below) X X
a. Contract Acceptance X
b. Final Materials Certification X
c. Final Acceptance Checklist for Federal Aid High Profile Projects X
Notes: 1. FE: Final Estimate for state-funded projects only 2. FE + 3: Final Estimate + 3 years 3. FFV: Federal Final Voucher for projects with some form of federal funding 4. FFV + 3: Final Federal Voucher + 3 years 5. PHF: Project History File (permanent)
Prepare a transmittal list specifying the contents of each box when records are sent from
the district construction office to the State Record Center or to another district. In a
separate file in the district construction office, retain a copy of the transmittal list. Files
stored electronically must also be sent.
The Bridge Construction Records and Procedures manual should be referenced for
structure-related records that are transmitted to Structure Construction at the completion
of the project for permanent storage.
California Department of Transportation Construction Manual January 2019 5-1.84 Project Records and Reports
5-104D As-Built Plans
Districts are responsible for all as-built road plans, and Structure Design is responsible
for all as-built structure plans. To handle as-built plans, use the following procedure:
The district Design Unit will give the resident engineer full-size prints of all road plans.
Prints of structure plans will be supplied to the structure representative. The plans may
also be transmitted in electronic form when field forces have the capability of computer-
aided drafting and design (CADD). As-built information is recorded on the full-size
drawings or recorded on a set of contract plans using CADD.
Each sheet of as-built plans must be clearly identified as such. All sheets upon which
changes are made must contain the name of the resident engineer or structure
representative.
5-104D (1) District Procedure on As-Built Plans
The district will maintain a set of original project plan sheets. Field changes will be made
on full-size prints or in a field CADD system and afterward transferred to the original
CADD files in the district office. The set of plans, with changes delineated by the district
Design Unit, becomes the as-built plans.
To attain uniformity in final project plans, include the following data on the as-built
plans:
• Change order number.
• Revisions in alignment and right-of-way.
• Grade revisions in excess of 0.1 foot.
• Changes in length, size, flow line elevations, and station of culverts. When alternate
types of culverts are permitted, show which alternate was used.
• Drainage changes.
• Location of sewers, conduits, and other features.
• Location of monuments, bench marks, freeway fences, and gates.